Personnel Hong Kong SFC License Details (ID 88073)

Personnel Hong Kong SFC License Details (ID 88073)

关键资料证监会牌照公开纪律行动

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没有开始日期的人士至少自现行登记册于2003年4月1日启用时起已担任该职位。

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机构	角色	受规管活动	开始日期	结束日期
ARK GROUP HOLDINGS (HONG KONG) LIMITED	Rep	就证券提供意见	2017-08-24	2020-01-31
	Rep	提供资产管理	2017-08-24	2020-01-31
	Rep	证券交易	2017-08-24	2020-01-31
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	就证券提供意见	2012-06-11	2014-08-15
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	期货合约交易	2012-05-04	2014-08-15
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	证券交易	2012-05-04	2014-08-15
Merrill Lynch (Asia Pacific) Limited	Rep	就证券提供意见	2011-11-15	2012-03-05
Merrill Lynch Far East Limited	Rep	期货合约交易	2011-08-03	2012-03-05
Merrill Lynch (Asia Pacific) Limited	Rep	证券交易	2010-06-10	2012-03-05
Morgan Stanley Asia Limited	Rep	证券交易	2009-08-27	2010-05-20
Morgan Stanley Hong Kong Futures Limited	Rep	期货合约交易	2009-08-27	2010-05-20